iCapital is looking for a Compliance Analyst/Associate candidate to join its Regulatory and Compliance team to lead the review and approval process for investor AML/ KYC with a strong private fund focus. The candidate will be responsible for ensuring compliance with all AML/KYC regulatory requirements and generally assisting the Legal and Compliance teams with various compliance-focused tasks.
Responsibilities
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Review of investor/client AML/KYC documentation, client communications, quarterly reporting and ongoing monitoring.
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Perform third party reliance testing and monitoring.
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Collaborate across various business lines on new initiatives, providing compliance guidance
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AML screening review and dispositions.
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Assist in preparing for and responding to inquiries and audits.
Qualifications
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1-4 years of alternatives experience, preferably with both broker dealer and registered investment advisor experience
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Strong knowledge of the Investment Company Act of 1940, Securities Act of 1933 and Cayman Islands Anti-Money Laundering Regulations
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AML/KYC knowledge of regulatory requirements for private fund investors
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Experience with AML screening resolution vendor tools (LexisNexis, Worldcheck, ComplyAdvantage, etc.)
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Excellent verbal communication skills and strong ability for personal interaction
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Thrives in a fast-paced environment with a continuous learning mindset
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Self-motivated with robust project management and process development skills
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ACAMS certification preferred, but not required
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JD a plus, but not required
We believe the best ideas and innovation happen when we are together. Employees in this role will work in the office 4 days a week with the flexibility to work remotely on Friday.
Benefits
iCapital offers a comprehensive benefits package that includes a total compensation program consisting of competitive salary, annual performance bonus, and equity for all full-time employees; healthcare with 100% employer-paid health and dental insurance.
About the company
For additional information on iCapital Network, please visit https://www.icapitalnetwork.com/about-us Twitter: @icapitalnetwork | LinkedIn: https://www.linkedin.com/company/icapital-network-inc